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| Provider | Service type | Compensation |
|---|---|---|
Service code 12 · EIN 13-3689044 | Recordkeeping fees; Participant commu... | $286,090 |
MORGAN STANLEY SMITH BARNEY3 years Filed as: MORGAN STANLEY Service code 27 · EIN 26-4310632 | Advisory (Plan) | $76,856 |
Service code 33 · EIN 25-1409618 | Securities brokerage commissions and ... | $0 |
NATIONAL FINANCIAL SERVICES3 years Service code 33 · EIN 04-3523567 | Securities brokerage; Securities brok... | $0 |
Employer contribution per participant is in the bottom quintile of the peer cohort.
Annual investment return is in the bottom quintile of the peer cohort.
Assets per participant are in the bottom quintile of the peer cohort - savings-rate / match opportunity.
Form 5500 reported a failure to timely transmit participant contributions (Schedule H line 4a).
Plan reported corrective distributions (failed ADP/ACP testing).
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $10,421 | $45,382-77.0% | $154,108-93.2% | $75,289-86.2% |
| Participation rate | 90.2% | 65.9%+24.3pp | 83.0%+7.1pp | 72.4%+17.8pp |
| Annual return | -8.18% | -0.47%-7.7pp | 735.21%-743.4pp | -0.04%-8.1pp |
| Employer contribution / active EE | $2 | $1,533-99.8% | $5,298-100.0% | $2,405-99.9% |
| Participant deferral / active EE | $2,324 | $2,384-2.5% | $5,081-54.3% | $3,739-37.8% |
| Admin fee / account holder | $81 | $89-9.1% | $13,411-99.4% | $102-20.6% |